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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-11-30
AL RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2015-11-30
  • AL RA
    APPROVED
    Since 2013-02-13

Branch Locations

305 Church Street Sw Suite 620, Huntsville, AL 35801 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Huntsville AL 02/2013 Present
Previous Registrations
  • 1999-09-01 → 2013-02-13
    Morgan Keegan & Company, Llc
    Huntsville, AL
    Huntsville, AL
    Huntsville, AL
Other Businesses

(1)Name of Business: Brookside Partners, L.L.C. Address: 1209 Locust Ave , Huntsville, AL, 35801, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 02/03/2004 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: managing partner for LLC (2)Name of Business: EnerSage LLC (formerly S&R Holdings LLC) Address: 50 Davis Street, Decatur, AL, 35601, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 02/01/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am advising and underwriting my brother and his associates in a new entity (renamed from S&R) that will offer energy consulting and management as well as electrical contracting and installation of energy efficient products such as lighting.\n06-27-2022\nThe business has been scaled back and mostly dormant. My brother is the only active participant. I spend virtually no time on the business. The business is mostly in warranty mode. \n\nNothing has changed as to this status effective 08-08-25.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-13
S63 Uniform Securities Agent State Law Examination 1987-11-09
  • S65 Uniform Investment Adviser Law Examination
    1995-04-13
  • S63 Uniform Securities Agent State Law Examination
    1987-11-09

View on SEC IAPD

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